CRD #8174 · FINRA BrokerCheck + SEC IAPD

UBS Financial Services Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Financial Services Inc. ranks #2 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #1 of 114 on the same disclosure sort used on the state browse page. UBS Financial Services Inc. carries 926 BrokerCheck disclosures across 6,346 branch offices - light load for a national firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
6,346
branch offices
926
disclosures
#2 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 8174 UBS Financial Services Inc.

UBS Financial Services Inc. · Grade C · 926 disc · 0.15/office · National firm

  • CRD 8174
  • GRADE C
  • DISC 926
  • REG 476
  • ARB 445
  • CIV 5
  • BRANCH 6,346
  • PER-OFF 0.15
  • RANK #2 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: RBC Capital Markets, LLC (0.12 disc/office)

RBC Capital Markets, LLC0.12Raymond James & Associa…0.08J.P. Morgan Securities LLC0.08UBS Financial Servi… (this)0.15
Disclosures per office among national firm peers (lower is cleaner)

UBS Financial Services Inc. ranks #2 of 20,055 by disclosure count among graded broker-dealers; light load at 0.15 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

6,346 offices

FINRA: Large firm

Total disclosures

926 events

On FINRA BrokerCheck

Regulatory events

476 actions

51% of all disclosures

Disclosures per office

0.15 per office

926 ÷ 6,346 offices

UBS Financial Services Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 82% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 476
Arbitrations 445
Civil Events 5
Total 926

Counts for UBS Financial Services Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 476 Arbitration 445 Civil 5

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Weehawken, NJ, 07086
Formed
06/30/1969
State of Formation
Delaware
CRD Number
8174
SEC Number
16267

Lower disclosures per office

UBS Financial Services Inc. in the heavier-disclosure third

UBS Financial Services Inc. carries 926 BrokerCheck disclosures across 6,346 branch offices - a heavier-third raw book among graded firms (#2 of 20,055). Mix is 476 regulatory, 445 arbitration, and 5 civil (51% regulator share).

UBS Financial Services Inc. runs 0.15 disclosures per branch office (cleaner than 82% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of UBS Financial Services Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 72× state average

UBS Financial Services Inc. sits above the New Jersey disclosure average

UBS Financial Services Inc. reports 926 BrokerCheck disclosures, 72× the New Jersey average of 12.9 across 114 graded firms with a principal-office state on file.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does UBS Financial Services Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Financial Services Inc. ranks #2 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #1 of 114 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for UBS Financial Services Inc.?
A grade of C reflects UBS Financial Services Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 926 total disclosures across 6,346 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does UBS Financial Services Inc. have?
UBS Financial Services Inc. has 926 total FINRA disclosures, including 476 regulatory events, 445 arbitrations, 5 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UBS Financial Services Inc.?
UBS Financial Services Inc. operates 6,346 branch offices and is classified by FINRA as a large firm, registered in NJ (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify UBS Financial Services Inc.'s disciplinary record?
You can verify UBS Financial Services Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8174. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). UBS Financial Services Inc.'s 926 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid UBS Financial Services Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. UBS Financial Services Inc. carries 926 disclosures across 6,346 branch offices (about 0.15 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for UBS Financial Services Inc., both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.